Investor's Guide to Loss Recovery

Rights, Mediation, Arbitration, and other Strategies

AvLouis L. Straney

Inbunden, Engelska, 2011

Del 12 i serien Wiley Finance

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Beskrivning

Essential guidance for recovery of lost assets through arbitration, mediation and other forms of conflict resolution Since the discovery of the Madoff fraud and investment scandals associated with the global credit crisis, investors have become aware that they can fight back and demand both justice and monetary recovery. To date, the only reliable resources on securities arbitration have been either sensationalized accounts of how to sue Wall Street or legal references, which provide no practical application. Filled with expert guidance showing investors how arbitration works, Investor's Guide to Loss Recovery fills that gap by providing a focus on all of the investor's options when a conflict arises. Includes charts showing the major areas of litigation as well as empirical evidence of enhanced awareness of investment misconductProprietary research by the author, demonstrating arbitration resultsAnalysis on how newly enacted regulatory reforms will impact the process and options for financial fraud victimsPersonal interviews with securities attorneys, experts and investorsDetailed scripts of initial attorney interviews, mediation and arbitrationNew financial regulations are impacting the options available to investors looking to recover assets. Investor's Guide to Loss Recovery is must-have reading for every investor, financial advisor, and attorney.

Produktinformation

Utgivningsdatum:2011-11-03
Mått:163 x 237 x 25 mm
Vikt:426 g
Format:Inbunden
Språk:Engelska
Serie:Wiley Finance
Antal sidor:240
Förlag:John Wiley & Sons Inc
ISBN:9780470937624

Utforska kategorier

Finansiering inom Ekonomi och Ledarskap

Mer om författaren

LOUIS L. STRANEY spent twenty-four years as a senior manager in the financial services industry, including a four-year tenure at the director level with Smith Barney. In 2007, he created Arbitration Insight, LLC, through which he currently provides expert witness and consulting services for securities- and commodities-related disputes. He has published articles in law journals and a self-study course on securities fraud for the Association of Certified Fraud Examiners (ACFE), where he provides training and is a regular speaker at U.S. and international conferences and events.

Innehållsförteckning

Foreword xiPreface xiiiAcknowledgments xixIntroduction xxiiiChapter 1: Road to Recovery 1A Sharp Stick 1Dodd-Frank: The Engine That Could 2Rejecting Acceptance 4The Incalculable Threshold 5Dealing with the Demons 6What Went Wrong? 7What Can Be Done? 7Criminal Trials 8Civil Litigation 14Class Action Litigation 17Mediation 18Arbitration 20Notes 21Chapter 2: Rock, Paper, Scissors 25Five, Cinq, Fünf, Cinco 25Category 1 ADR: Member Firm versus Member Firm 27Category 2 ADR: Employee versus Member Firm 29Category 3 ADR: Member Firm versus Employee 31Category 4 ADR: Member Firm versus Private Investor 33Category 5 ADR: Investor versus Member Firm 34Notes 38Chapter 3: Paperwork and Nostalgia 41Equity, Epieikeia, or Myth? 41Challenge of Solo Flight 44A Trip to the Clinic 46Paper versus Panel 47The Perfect Counsel Is Imperfect 48The Cone of (Near Total) Silence 50Historical Revisionism 51Strange Ways 52Notes 53Chapter 4; Revolutionary Acts 55Jewels Among the Stones 55Three Chords and the Truth 57Your Story, Your Commitment 57The Edge of Courage 60More Than a Suggestion 62Customer Requirements, List 2 62I See Something That You Don’t See 64Respondent Requirements, List 1 65Negligence/Breach of Fiduciary Duty, Lists 9 and 10 66Churning, Lists 3 and 4 67Failure to Supervise, Lists 5 and 6 69Misrepresentation/Omissions, Lists 7 and 8 70Unauthorized Trading, Lists 11 and 12 71Unsuitability, Lists 13 and 14 72Reform through Reduction? 73A Venue for Intellect and Reason 74Notes 75Chapter 5: Expect the Unexpected 77Tracking an M- 80 77The Baker’s Dozen 78New Account Paperwork 79Customer Monthly Statements 81Customer Federal Tax Returns and Schedules 83Communications 84Presentations and Proposals 85Commissions and Fees 86Compliance Manuals and Evidence of Supervision 88Business Unit Audit Results 90Regulatory Central Data Records 91Prospectuses and Offering Documents 92Phone Records 93Marketing Materials 93Damage Calculations 94Notes 97Chapter 6: The Lean Compromise 99In Other Words, Schiedsgerichtsvereinbarung 99Augustinian Guidance 101Mediation, Act I: Getting to Know You 106Mediation, Act II: We Are Gathered Together 108Mediation, Act III: I’m a Victim 109Mediation, Act IV: Hold On, Not So Fast 111Mediation, Act V: Deal or No Deal? 113Notes 115Chapter 7: Arbitration: People, Places, and Things 117Arbitration (Third Century B.C.) 117People 119Places 121Things 122Arbitration Script 125Notes 150Chapter 8: The Advocates 151Advocacy, Not Advice 151Margery S. Bronster 152Louis F. Burke 156G. Kent Edwards 163Richard S. Frankowski 167Jan Graham 173Charles C. Mihalek 176Tina Morin 180William S. Shepherd 186Wisdom 2,317 Miles from Wall Street 189Notes 189Chapter 9: End of the Beginning 191Wabi-Sabi 191Twenty-Four Points 192A Graphic Graphic 195The Equation 198We the People 198Notes 199About the Author 201Index 203